Investors might have sustained losses because of securities broker Danny Kay Davis [CRD: 853374, Omaha, Nebraska], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Davis worked for Stifel Nicolaus Company Incorporated from March 5, 2009 to June 24, 2025. Read on to know more about the nature of the investor […]

One or more investors apparently complained about securities broker Matthew Ryan Stucke (also known as Matt Stucke) [CRD: 4840895, Milton, Georgia], according to publicly available disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It seems that Stucke has worked for Cetera Advisor Networks LLC since October 26, 2022, and Cetera Investment Advisers LLC since March […]

Investors possibly experienced losses because of securities broker Patrick Alexander Moriarty [CRD: 4764378, Boston, Massachusetts], according to publicly available information on FINRA BrokerCheck. Evidently, Patrick Moriarty worked for UBS Financial Services Inc. from October 26, 2007, to August 30, 2024. Check out the following information about Patrick Moriarty’s regulatory disclosures. Moriarty Sanctioned By Massachusetts Securities […]

Investors might have sustained losses because of securities broker Ivanhoe Vincent Ffriend (also known as Ivanhoe Vincent Friend, Ivan Ffriend, and Ivan Friend) [CRD: 1013083, New Rochelle, New York], according to disclosures on FINRA BrokerCheck. Evidently, Ivanhoe Ffriend worked for multiple securities firms over the years, including J.P. Turner Company LLC and North Ridge Securities […]

Investors potentially experienced losses due to securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to disclosures on FINRA BrokerCheck. According to the regulator, Thistlethwaite worked for Morgan Stanley from June 1, 2009, to February 16, 2023. Here’s more about the securities broker’s disclosures. Ohio Division of Securities Charged Thistlethwaite With Violations Particularly, on […]

Investors might have sustained losses due to securities broker Robert Spaulding Gleason Jr. [CRD: 1415067, Owensboro, Kentucky], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robert Gleason worked for IFP Securities LLC from February 2, 2022, to May 6, 2022, and Cantella Co. Inc. from November 21, 2016, to December 23, 2021. […]

Investors might have sustained losses due to Larry Joseph Michaels [CRD: 4351477, Orange, California], and FINRA sanctioned the securities broker, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Larry Michaels has been registered with Crown Capital Securities L.P. since October 16, 2012. Continue reading to learn more about the disclosures linked to […]

Financial Industry Regulatory Authority (FINRA) sanctioned broker Valence Montgomery Williams [CRD: 1389729, New York, New York]. Williams's career includes positions at J.H. Darbie Co. Inc. from July 17, 2018, to December 19, 2023, and at Aegis Capital Corp. from March 23, 2010, to July 18, 2018, both based in New York, NY. Here’s a closer […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Darren Nickolas Ting [CRD: 6814035, Cleveland, Ohio], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Darren Ting worked for J.P. Morgan Securities LLC from March 12, 2021, to March 2, 2022, and previously for Merrill […]